The Socially Savvy Advisor: Compliant Social Media for the Financial Industry -- Contents -- Foreword -- Acknowledgments -- Introduction -- Part One: The New Business Environment -- 1. How Is Social Media Changing Investor Behavior? -- HOW INVESTORS ARE GETTING SOCIAL -- INVESTORS ARE DEMANDING MORE WITH TRANSPARENCY AND REAL-TIME ACCESS -- WHAT INVESTORS REALLY WANT: FIND THEIR ADVISORS ON SOCIAL MEDIA -- 2. What Are Social Media's Implications for the Financial Industry? -- SITTING OUT THE GAME? -- FINANCIAL ADVISORY WORLD IN FLUX -- FOUR OBSTACLES TO GREATER SOCIAL MEDIA ENGAGEMENT -- WHAT DOES THIS MEAN FOR THE INDUSTRY, CEOs, CCOs, AND MARKETERS? -- WHAT THE FUTURE HOLDS -- 3. What Are the Tensions Between Social Media and Regulation? -- THREE REASONS WHY ADVISORS FEEL REGULATORS MAKE SOCIAL MEDIA DIFFICULT -- WHAT REGULATORS COULD DO TO MAKE SOCIAL MEDIA EASIER -- A DEFENSE: POLICIES IN PLACE -- THE REAL BARRIER: REGULATORS OR INDUSTRY? -- SOME FINAL THOUGHTS -- 4. Are the Risks of Using Social Media Worth the Benefits? -- SOCIAL MEDIA'S SHIFTING WINDS IN FINANCIAL ADVISORY -- FOUR SOCIAL MEDIA RISKS AND SOLUTIONS -- Social Endurance -- Reputation Impact -- Recordkeeping and Advertising -- Millennial Hiring Risk -- 5. How Will Social Media Change Our Industry in 10 Years? -- GET READY: MORE CHANGE IS COMING -- A 10-YEAR LOOK: HOW THE FINANCIAL INDUSTRY WILL CHANGE -- EIGHT PREDICTIONS FOR THE NEXT DECADE -- 6. What Are the Biggest Social Media Myths? -- Part Two: The Regulatory Environment -- 7. What Are the Top Challenges Compliance Officers Face? -- WHAT CCOs SHOULD KNOW -- FIVE KEY CCO CHALLENGES -- WHEN TO CALL FOR HELP -- 8. What Does FINRA Say about Social Media? -- THREE NEW AREAS OF FINRA GUIDANCE -- CHOOSING YOUR CONTENT: STATIC VERSUS INTERACTIVE -- A FINRA SWEEP OF ADVISOR PRACTICES -- NEW CYBERSECURITY INITIATIVE.

9. What Does the SEC Say about Social Media? -- SEVEN NEW GUIDELINES THAT CCOs SHOULD KNOW -- TESTING FOR TESTIMONIALS -- A LOOSER INTERPRETATION -- THREE CLARIFICATIONS ON EARLIER GUIDANCE -- 10. What Gets Financial Professionals into Trouble with Social Media? -- REMEMBER THE GROUND RULES -- REMEMBER: THERE'S RISK -- DRAWING LINES BETWEEN BUSINESS AND PERSONAL -- FOUR WAYS TO MANAGE SOCIAL MEDIA RISK -- KEYS TO HANDLING BAD CONTENT -- 11. How Do We Create a Social Media Policy? -- FIVE STEPS TO STARTING YOUR POLICY -- FIVE POLICY ELEMENTS THE SEC LIKES TO SEE -- THE THREE ``Ss ́́OF A SOCIAL MEDIA POLICY -- Part Three: Key Playing Fields in Social Media -- 12. How Can We Use LinkedIn? -- FIRST, WHAT EXACTLY IS LINKEDIN? -- WHY IS LINKEDIN DIFFERENT FROM OTHER SOCIAL NETWORKS? -- THREE STEPS TO GETTING STARTED ON LINKEDIN -- 1. Optimize Your LinkedIn Profile -- 2. Build Your Network -- 3. Create a LinkedIn Company Page for Your Business -- THE PROBLEMATIC ENDORSE FUNCTION -- 13. How Can We Use Facebook? -- SEVEN WAYS TO START ON FACEBOOK -- 14. How Can We Use Twitter? -- TWITTER IN FINANCIAL SERVICES -- HOW TO GET STARTED WITH TWITTER -- WHAT TO TWEET -- WHAT NOT TO TWEET -- 15. How Can We Use YouTube? -- SIX TIPS FOR STAYING COMPLIANT ON YOUTUBE -- EIGHT WAYS FINANCIAL PROFESSIONALS ARE USING VIDEO -- SIX STEPS TO GETTING STARTED WITH VIDEO -- CASE STUDY: MATSON MONEY -- 16. How Can We Use Google+? -- 17. What Other Social Media Platforms Can Professionals Use? -- INSTAGRAM -- How Can I Use Instagram in Financial Services? -- PINTEREST -- How Can I Use Pinterest For Financial Services? -- SLIDESHARE -- Why Would I Use SlideShare for Financial Services? -- SKYPE -- How Can I Use Skype for Financial Services? -- VINE -- How Can I Use Vine for Financial Services? -- Part Four: Marketing and Business Development.

18. How Do We Decide Which Social Media Platforms to Use? -- THREE QUESTIONS TO ASK…AND IT ALL STARTS WITH COMPLIANCE -- A CASE: CHOOSING THE RIGHT PLATFORMS -- THREE STEPS TO CHOOSING THE RIGHT SOCIAL MEDIA PLATFORMS -- 19. How Do We Integrate Social Media with Overall Marketing? -- THE CHALLENGES OF UNIFYING SOCIAL MEDIA WITH OVERALL MARKETING -- TWO APPROACHES TO INCORPORATING SOCIAL MEDIA INTO MARKETING -- THE NEW MODEL: GETTING YOUR FIRM BEHIND A SOCIAL MEDIA PROGRAM -- THREE SOCIAL MEDIA ELEMENTS OF MARKETING -- PUTNAM RETAIL: ASSET MANAGER MOVING FROM TRADITIONAL TO DIGITAL MEDIA -- A SMALL ADVISOR AND HIS BIG-TIME MARKETING PLAN -- FIVE WAYS TO GIVE SOCIAL MEDIA LEGS TO YOUR MARKETING EFFORTS -- 20. How Do We Measure Social Media ROI? -- DEFINING SUCCESS WITH ROI AND KPI -- THREE STRATEGIES TO MEASURING YOUR SOCIAL MEDIA ROI -- 21. What Types of Content Work Best? -- THE BENEFITS OF CONTENT MARKETING -- SIX STEPS TO SUCCESSFUL CONTENT MARKETING -- 22. How Do We Use SEO to Reach Key Audiences? -- THREE WAYS SEO IS CHANGING RIGHT NOW -- A CASE STUDY: HERON FINANCIAL GROUP -- TOP MISTAKES THE FINANCIAL INDUSTRY MAKES -- FIVE KEYS TO BUILDING SEO-FRIENDLY CONTENT -- MULTIPLE OFFICES? HOW A FIRM OR ADVISOR CAN REACH LOCALLY VIA SEO -- WHEN TO HIRE HELP -- 23. How Can We Leverage Paid Social Media Promotions? -- WHY PAID PROMOTIONS MAY BE BENEFICIAL -- STEPS TOWARD STARTING YOUR PAID SOCIAL MEDIA CAMPAIGN -- NETWORK-SPECIFIC ADVICE -- 24. How Do We Avoid Copyright Problems? -- MASTERING THE RULES OF FAIR USE -- STANDARDS FOR USING PHOTOS AND GRAPHICS -- 25. How Do We Track and Defend Our Reputation on Social Media? -- KEY METHODS TO MANAGE AND ENHANCE YOUR WEB PRESENCE -- DUKING IT OUT IN THE SOCIAL WORLD -- 26. How Can We Use Social Media to Promote Our Events? -- CREATE A SHAREABLE STORY -- HOW TO FIND INFLUENCERS -- For LinkedIn -- For Twitter.

For Facebook -- INFLUENCERS: A NEW MINDSET -- IT'S NOT JUST ABOUT TEXT -- PROMOTING YOUR EVENTS VIA SOCIAL MEDIA -- 27. Do We Need a Social Media Manager? -- SO WHAT DOES A SOCIAL MEDIA MANAGER DO? -- HOW CAN ADVISORS AND ASSET MANAGERS FURTHER BENEFIT FROM HIRING A SOCIAL MEDIA MANAGER? -- HOW DO I KNOW IF I SHOULD HIRE SOMEONE TO MANAGE MY SOCIAL MEDIA? -- WHAT SHOULD ADVISORS OR ASSET MANAGEMENT FIRMS LOOK FOR IN A GOOD SOCIAL MEDIA MANAGER? -- Part Five: Client Servicing -- 28. How Can Social Media Be Used to Save Time and Money in Servicing Clients? -- FOUR FACTS TO KNOW -- OVERCOMING CHALLENGES IN THE FINANCIAL INDUSTRY -- SCHWAB: A CLOSER LOOK -- CAN SOCIAL CARE HELP YOU SAVE TIME AND MONEY? -- FIVE KEY STEPS TO SETTING UP CLIENT SERVICING ON SOCIAL MEDIA -- 29. How Can We Use Social Media to Create Client Groups? -- THE BIGGEST MARKETING MISUNDERSTANDING ABOUT SOCIAL MEDIA -- FIVE STEPS TO CREATING SOCIAL MEDIA GROUPS -- PARTY VENUES: LINKEDIN, FACEBOOK, TWITTER -- BEST PRACTICES WITH GROUPS -- 30. How Do We Prevent Competitors from Poaching Our Clients on Social Media? -- THREE WAYS TO PROTECT YOURSELF FROM POACHING -- CLUES TO TIP YOU OFF TO POACHERS -- LEAVING ON GOOD TERMS-AND GETTING YOUR CLIENT BACK? -- Part Six: Managing Social Media Compliantly -- 31. What Are the Investor-Protection Rules as They Relate to Social Media? -- FOUR SERVICES THAT DRAW SEC ATTENTION -- RECURRING PROBLEMS IN SEC EXAMINATIONS -- 32. How Can We Comply with Making Securities Recommendations Through Social Media? -- THE TROUBLE WITH RECOMMENDATIONS -- SOLVING THE SUITABILITY PROBLEM IN SOCIAL MEDIA -- AN ADVISOR'S RESPONSIBILITY FOR BLOG RECOMMENDATIONS -- FIVE THINGS ADVISORS SHOULD KNOW WHEN MAKING RECOMMENDATIONS -- 33. How Can We Pre-Approve Content? -- WHAT'S DRIVING THE SHIFT AWAY FROM PRE-APPROVED CONTENT? -- THE RISKS OF PRE-APPROVING CONTENT.

A STEPPING STONE: THE PROS OF PRE-APPROVING -- RAYMOND JAMES' SOCIAL EVOLUTION -- APPROACHES TO PRE-APPROVED CONTENT -- A NEXT STEP: EDUCATION -- 34. How Can We Comply with Rules Related to Testimonials, Endorsements, and Advertising? -- HATING THE LIKE BUTTON -- OVERSEEING WHAT'S SAID ON SOCIAL MEDIA -- FIVE CONVERSATIONS THAT DON'T REQUIRE FILING -- TWO CONVERSATION TOPICS THAT ADVISORSMUST FILE -- 35. How Can We Spot-Check Employee Behavior on Social Media? -- BUSINESS USE OF PERSONAL WEBSITES -- THE REGULATORS ARE SEARCHING ON SOCIAL MEDIA -- 36. What Cybersecurity Mistakes Should Advisors Avoid? -- WHAT CRIMINALS GAIN AND CONSUMERS LOSE -- IMPLICATIONS FOR ADVISORS AND ORGANIZATIONS -- A CLOSER LOOK AT THE RISKS -- WHAT FINRA AND THE SEC SAY -- NOT HIP TO HACKERS? THREE RISKS FOR ADVISORS -- KEY MOVES TO WARD OFF RISKS -- OTHER SOCIAL MEDIA PROTECTION TIPS -- THE FUTURE OF CYBERSECURITY -- 37. How Does the JOBS Act Impact Social Media and Hedge Funds? -- WHO WANTS TO BUY A PLACEMENT? -- A TECH UPGRADE FOR PRIVATE INVESTMENT -- 38. How Will Social Media Change the Role of the CCO in the Years Ahead? -- THREE AREAS OF CHANGE FOR CCOs -- A RISING TIDE OF COSTS -- A CHANGING ROLE FOR CCOs -- Appendix: Sample Social Media Policy -- About the Author -- About the Contributors -- About the Companion Website -- Index -- End User License Agreement.